FORM ADV PART 2B SUPPLEMENT: CAPABILITIES
Electronic workflow solution integrates with existing representative data (stored by RegEd and/or FINRA) to streamline compliance.
RegEd’s event-driven supplement creation (e.g. address change, DRP update, education update, etc.) ensures that the firm’s clients always have the most current supplement and are fully in compliance with SEC requirements.
FORM ADV PART 2B SUPPLEMENT: RELATED RESOURCES
Content covering the latest news and best practices, from industry and RegEd subject matter experts.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
This webinar features a panel of compliance and legal experts who discuss the recent FINRA and State Securities enforcement trends.
ARTICLE: SEC-Compliant Electronic Storage and Designated Third-Party Services
This article discusses how firms are required to maintain electronic records in a format that complies with SEC rules and how they can leverage RegEd’s electronic recordkeeping capabilities to comply with these requirements.
FEATURED ARTICLE: Best Practices for Annual Compliance Questionnaires
This articles discusses how firms can leverage their Annual Compliance Questionnaire (“ACQ”) in many ways, beyond just protecting against regulatory risk.
FORM ADV PART 2B SUPPLEMENT: RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
Robust enterprise software with advanced capabilities to automate and streamline advertising compliance review and speed time to market.
BRANCH AUDIT MANAGEMENT
Plan, schedule, conduct, resolve and report on branch audits. The solution significantly reduces manual processes, while enabling firms to effectively identify and remediate areas of potential risk before they result in non-compliance risk.
CONFLICTS OF INTEREST
A suite of fully integrated, fit-for-purpose modules to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues among the firm’s employee population and third parties.
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.